TapewireFind a company

person · Reporting owner

FORMELA JEAN FRANCOIS

Disclosed activity across 5 companies

Tapewire entity
18826
SEC CIK
0001030575

Export transaction history ↓

Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
ImageneBio, Inc.IKNA · Entity 7139DirectorJune 07, 2024June 10, 2024
Intellia Therapeutics, Inc.NTLA · Entity 4585DirectorJune 14, 2022June 16, 2022
Korro Bio, Inc.KRRO · Entity 6388DirectorSeptember 11, 2026September 15, 2026
Spero Therapeutics, Inc.SPRO · Entity 7014DirectorAugust 17, 2021August 18, 2021
Translate Bio, Inc.TBIO · Entity 135439DirectorSeptember 14, 2021September 14, 2021

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

ImageneBio, Inc.

Report date June 07, 2024 · Filed June 10, 2024

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.75 · Expires 2034-06-06Direct17,520 Reported balance After 2024-06-07 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2024-06-07 · Grant · Acquired 17,520 · Balance 17,520

F1: This option shall vest in full upon the earlier of (i) June 7, 2025 or (ii) the date of the next annual meeting; provided, however, that all vesting shall cease if the director resigns from the Board or otherwise ceases to serve as a director.

F2: The Reporting Person is a member of Atlas Venture Associates X, LLC and is obligated to transfer the economic benefit, if any, received upon the sale of the shares issuable upon exercise of the option to Atlas Venture Life Science Advisors, LLC. As such, the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, except to the extent of his pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: This option shall vest in full upon the earlier of (i) June 7, 2025 or (ii) the date of the next annual meeting; provided, however, that all vesting shall cease if the director resigns from the Board or otherwise ceases to serve as a director.

F2: The Reporting Person is a member of Atlas Venture Associates X, LLC and is obligated to transfer the economic benefit, if any, received upon the sale of the shares issuable upon exercise of the option to Atlas Venture Life Science Advisors, LLC. As such, the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, except to the extent of his pecuniary interest therein, if any.

Intellia Therapeutics, Inc.

Report date June 14, 2022 · Filed June 16, 2022

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect7,291 Reported balance After 2022-06-14 transaction · row 1 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 1 · 2022-06-14 · Grant · Acquired 5,197 · Balance 7,291

F1: Based on a grant of restricted stock units representing a contingent right to receive one share of Intellia common stock for each restricted stock unit.

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $38.49 · Expires 2032-06-13Direct7,688 Reported balance After 2022-06-14 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2022-06-14 · Grant · Acquired 7,688 · Balance 7,688

F2: This option was granted on June 14, 2022 with respect to 7,688 shares of Common Stock and vests in full on the earlier to occur of (a) the first anniversary of the grant date or (b) the date of the next annual meeting of stockholders following the date of grant.

F3: The reporting person is a member of Atlas Venture Associates IX, LLC ("AVA IX LLC") and is obligated to transfer the economic benefit, if any, received upon the sale of the shares issuable upon exercise of the equity grants to Atlas Venture Advisors, L.P. As such, the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, except to the extent of his pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: Based on a grant of restricted stock units representing a contingent right to receive one share of Intellia common stock for each restricted stock unit.

F2: This option was granted on June 14, 2022 with respect to 7,688 shares of Common Stock and vests in full on the earlier to occur of (a) the first anniversary of the grant date or (b) the date of the next annual meeting of stockholders following the date of grant.

F3: The reporting person is a member of Atlas Venture Associates IX, LLC ("AVA IX LLC") and is obligated to transfer the economic benefit, if any, received upon the sale of the shares issuable upon exercise of the equity grants to Atlas Venture Advisors, L.P. As such, the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, except to the extent of his pecuniary interest therein, if any.

Korro Bio, Inc.

Report date September 11, 2026 · Filed September 15, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnote672,498 Reported balance After 2026-09-11 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2026-09-11 · Sale · Disposed 8,450 · Balance 672,498

F1: Shares were sold pursuant to a Rule 10b5-1 trading plan on April 8, 2026.

F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.95 to $14.02 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F3: These shares are held directly by Atlas Venture Fund XI, L.P. ("Atlas XI"). Atlas Venture Associates XI, L.P. ("AVA XI LP") is the general partner of Atlas XI. Atlas Venture Associates XI, LLC ("AVA XI LLC") is the general partner of AVA XI LP. The Reporting Person is a member of AVA XI LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

Common StockSEC Table I · non-derivativeIndirectSee footnote139,252 Reported balance After 2026-09-11 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2026-09-11 · Sale · Disposed 1,750 · Balance 139,252

F1: Shares were sold pursuant to a Rule 10b5-1 trading plan on April 8, 2026.

F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.95 to $14.02 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F4: These shares are held directly by Atlas Venture Opportunity Fund II, L.P. ("AVOF II"). Atlas Venture Associates Opportunity II, L.P. ("AVAO II LP") is the general partner of AVOF II. Atlas Venture Associates Opportunity II, LLC ("AVAO II LLC") is the general partner of AVAO II LP. The Reporting Person is a member of AVAO II LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

Common StockSEC Table I · non-derivativeIndirectSee footnote640,610 Reported balance After 2026-09-14 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 3 · 2026-09-14 · Sale · Disposed 31,888 · Balance 640,610

F1: Shares were sold pursuant to a Rule 10b5-1 trading plan on April 8, 2026.

F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.95 to $14.59 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F3: These shares are held directly by Atlas Venture Fund XI, L.P. ("Atlas XI"). Atlas Venture Associates XI, L.P. ("AVA XI LP") is the general partner of Atlas XI. Atlas Venture Associates XI, LLC ("AVA XI LLC") is the general partner of AVA XI LP. The Reporting Person is a member of AVA XI LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

Common StockSEC Table I · non-derivativeIndirectSee footnote132,650 Reported balance After 2026-09-14 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 4 · 2026-09-14 · Sale · Disposed 6,602 · Balance 132,650

F1: Shares were sold pursuant to a Rule 10b5-1 trading plan on April 8, 2026.

F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.95 to $14.59 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F4: These shares are held directly by Atlas Venture Opportunity Fund II, L.P. ("AVOF II"). Atlas Venture Associates Opportunity II, L.P. ("AVAO II LP") is the general partner of AVOF II. Atlas Venture Associates Opportunity II, LLC ("AVAO II LLC") is the general partner of AVAO II LP. The Reporting Person is a member of AVAO II LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: Shares were sold pursuant to a Rule 10b5-1 trading plan on April 8, 2026.

F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.95 to $14.02 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F3: These shares are held directly by Atlas Venture Fund XI, L.P. ("Atlas XI"). Atlas Venture Associates XI, L.P. ("AVA XI LP") is the general partner of Atlas XI. Atlas Venture Associates XI, LLC ("AVA XI LLC") is the general partner of AVA XI LP. The Reporting Person is a member of AVA XI LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

F4: These shares are held directly by Atlas Venture Opportunity Fund II, L.P. ("AVOF II"). Atlas Venture Associates Opportunity II, L.P. ("AVAO II LP") is the general partner of AVOF II. Atlas Venture Associates Opportunity II, LLC ("AVAO II LLC") is the general partner of AVAO II LP. The Reporting Person is a member of AVAO II LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.95 to $14.59 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Spero Therapeutics, Inc.

Report date August 17, 2021 · Filed August 18, 2021

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.69 · Expires 2031-08-17Direct7,500 Reported balance After 2021-08-17 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2021-08-17 · Grant · Acquired 7,500 · Balance 7,500

F1: The shares underlying this option will vest and become exercisable in full on August 17, 2022 subject to the Reporting Person's continued service as a director through the vesting date.

F2: The reporting person is a member of Atlas Venture Associates IX, LLC and is obligated to transfer the economic benefit, if any, received upon the sale of the shares issuable upon exercise of the equity grants to Atlas Venture Advisors, L.P. As such, the Reporting Person disclaims beneficial ownership to the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, except to the extent of his pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: The shares underlying this option will vest and become exercisable in full on August 17, 2022 subject to the Reporting Person's continued service as a director through the vesting date.

F2: The reporting person is a member of Atlas Venture Associates IX, LLC and is obligated to transfer the economic benefit, if any, received upon the sale of the shares issuable upon exercise of the equity grants to Atlas Venture Advisors, L.P. As such, the Reporting Person disclaims beneficial ownership to the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, except to the extent of his pecuniary interest therein, if any.

Translate Bio, Inc.

Report date September 14, 2021 · Filed September 14, 2021

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnote0 Reported balance After 2021-09-14 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2021-09-14 · Sale · Disposed 2,055,063 · Balance 0

F1: As of September 14, 2021, Issuer was acquired in a cash tender by an indirect subsidiary of Sanofi, a French societe anonyme at a purchase price of $38.00 per share (the "Tender Offer"), as described more fully in the Schedule 14D-9 filed by the Issuer on August 16, 2021.

F2: 1,872,115 of these shares are held directly by Atlas Venture Fund VIII, L.P. ("Atlas VIII''). 182,948 of these shares are held directly by Atlas Venture Associates VIII, L.P. ("AVA VIII LP"), the general partner of Atlas VIII. These shares were previously received by AVA VIII LP in a pro-rata stock distribution pursuant to a Rule 10b5-1 plan established by Atlas VIII. Atlas Venture Associates VIII, Inc. ("AVA VIII INC") is the sole general partner of AVA VIII LP. Dr. Formela is a director of AVA VIII INC and disclaims Section 16 beneficial ownership of the securities held by Atlas VIII and Atlas VIII LP, except to the extent of his pecuniary interest therein, if any. This report shall not be deemed to be an admission that Dr. Formela is the beneficial owner of such shares for the purposes of Section 16 or any other purpose.

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.20 · Expires 2029-06-17Direct0 Reported balance After 2021-09-14 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2021-09-14 · Sale · Disposed 18,900 · Balance 0

F3: Under the terms of the Tender Offer, Issuer outstanding stock options, if not vested became vested, and all Issuer stock options were converted into cash consideration at the amount of the difference between the exercise price of the option and the Tender Offer price of $38.00 per share.

F4: This option was granted on June 18, 2019. The shares underlying this option became fully vested on the date of the Issuer's annual meeting of stockholders following the date of the grant, or June 16, 2020.

F5: This stock option was granted to the Reporting Person, a director of the Issuer. The proceeds of any sale of shares of common stock issued to the Reporting Person upon exercise of this stock option will be transferred to Atlas Venture Advisors, Inc. and as such, the Reporting Person disclaims ownership of such securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, except to the extent of his pecuniary interest therein, if any.

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $15.33 · Expires 2030-06-15Direct0 Reported balance After 2021-09-14 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2021-09-14 · Sale · Disposed 18,900 · Balance 0

F3: Under the terms of the Tender Offer, Issuer outstanding stock options, if not vested became vested, and all Issuer stock options were converted into cash consideration at the amount of the difference between the exercise price of the option and the Tender Offer price of $38.00 per share.

F6: This option was granted on June 16, 2020. The shares underlying this option became fully vested on the date of the Issuer's annual meeting of stockholders following the date of the grant, or June 16, 2021.

F5: This stock option was granted to the Reporting Person, a director of the Issuer. The proceeds of any sale of shares of common stock issued to the Reporting Person upon exercise of this stock option will be transferred to Atlas Venture Advisors, Inc. and as such, the Reporting Person disclaims ownership of such securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, except to the extent of his pecuniary interest therein, if any.

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $20.43 · Expires 2031-06-15Direct0 Reported balance After 2021-09-14 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2021-09-14 · Sale · Disposed 20,000 · Balance 0

F3: Under the terms of the Tender Offer, Issuer outstanding stock options, if not vested became vested, and all Issuer stock options were converted into cash consideration at the amount of the difference between the exercise price of the option and the Tender Offer price of $38.00 per share.

F7: This option was granted on June 16, 2021. This option will vest and become exercisable in full on the one year anniversary of the date of the award, or if earlier, the date of the Issuer's next annual meeting of stockholders following the date of the grant.

F5: This stock option was granted to the Reporting Person, a director of the Issuer. The proceeds of any sale of shares of common stock issued to the Reporting Person upon exercise of this stock option will be transferred to Atlas Venture Advisors, Inc. and as such, the Reporting Person disclaims ownership of such securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, except to the extent of his pecuniary interest therein, if any.

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.34 · Expires 2028-03-06Direct0 Reported balance After 2021-09-14 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2021-09-14 · Sale · Disposed 37,800 · Balance 0

F3: Under the terms of the Tender Offer, Issuer outstanding stock options, if not vested became vested, and all Issuer stock options were converted into cash consideration at the amount of the difference between the exercise price of the option and the Tender Offer price of $38.00 per share.

F8: This option was granted on March 7, 2018, with 25% of the shares underlying the option vesting on March 7, 2019 and thereafter 2.0833% vesting monthly until March 7, 2022.

F5: This stock option was granted to the Reporting Person, a director of the Issuer. The proceeds of any sale of shares of common stock issued to the Reporting Person upon exercise of this stock option will be transferred to Atlas Venture Advisors, Inc. and as such, the Reporting Person disclaims ownership of such securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, except to the extent of his pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: As of September 14, 2021, Issuer was acquired in a cash tender by an indirect subsidiary of Sanofi, a French societe anonyme at a purchase price of $38.00 per share (the "Tender Offer"), as described more fully in the Schedule 14D-9 filed by the Issuer on August 16, 2021.

F2: 1,872,115 of these shares are held directly by Atlas Venture Fund VIII, L.P. ("Atlas VIII''). 182,948 of these shares are held directly by Atlas Venture Associates VIII, L.P. ("AVA VIII LP"), the general partner of Atlas VIII. These shares were previously received by AVA VIII LP in a pro-rata stock distribution pursuant to a Rule 10b5-1 plan established by Atlas VIII. Atlas Venture Associates VIII, Inc. ("AVA VIII INC") is the sole general partner of AVA VIII LP. Dr. Formela is a director of AVA VIII INC and disclaims Section 16 beneficial ownership of the securities held by Atlas VIII and Atlas VIII LP, except to the extent of his pecuniary interest therein, if any. This report shall not be deemed to be an admission that Dr. Formela is the beneficial owner of such shares for the purposes of Section 16 or any other purpose.

F3: Under the terms of the Tender Offer, Issuer outstanding stock options, if not vested became vested, and all Issuer stock options were converted into cash consideration at the amount of the difference between the exercise price of the option and the Tender Offer price of $38.00 per share.

F4: This option was granted on June 18, 2019. The shares underlying this option became fully vested on the date of the Issuer's annual meeting of stockholders following the date of the grant, or June 16, 2020.

F5: This stock option was granted to the Reporting Person, a director of the Issuer. The proceeds of any sale of shares of common stock issued to the Reporting Person upon exercise of this stock option will be transferred to Atlas Venture Advisors, Inc. and as such, the Reporting Person disclaims ownership of such securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, except to the extent of his pecuniary interest therein, if any.

F6: This option was granted on June 16, 2020. The shares underlying this option became fully vested on the date of the Issuer's annual meeting of stockholders following the date of the grant, or June 16, 2021.

F7: This option was granted on June 16, 2021. This option will vest and become exercisable in full on the one year anniversary of the date of the award, or if earlier, the date of the Issuer's next annual meeting of stockholders following the date of the grant.

F8: This option was granted on March 7, 2018, with 25% of the shares underlying the option vesting on March 7, 2019 and thereafter 2.0833% vesting monthly until March 7, 2022.

Transaction history

JSON API
Reset

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
June 16, 2020 Filed Jun 17, 2020 21:49 UTC Translate Bio, Inc. TBIO · Entity 135439 GrantStock Option (right to buy) · Derivative 18,900 $0.00 Strike: $15.33 $0.00
Disclosure

SEC source: 0001209191-20-037372 · doc4.xml · derivative · entry 1

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,900

Underlying: Common Stock · 18,900 shares

Expires 2030-06-15

F1 · derivative.exercise_date: This stock option will vest and become exercisable in full on the one year anniversary of the date of the award, or if earlier, the date of the Issuer's next annual meeting of stockholders following the date of the grant.

F2 · ownership.direct: This stock option was granted to the Reporting Person, a director of the Issuer. The proceeds of any sale of shares of common stock issued to the Reporting Person upon exercise of this stock option will be transferred to Atlas Venture Advisors, Inc. and as such, the Reporting Person disclaims ownership of such securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, except to the extent of his pecuniary interest therein, if any.

Read SEC document
January 02, 2020 Filed Jan 7, 2020 00:06 UTC Spero Therapeutics, Inc. SPRO · Entity 7014 GrantStock Option (right to buy) · Derivative 5,408 $6.47 Strike: $9.87 $34,989.76
Disclosure

SEC source: 0000899243-20-000629 · doc4.xml · derivative · entry 1

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,408

Underlying: Common Stock · 5,408 shares

Expires 2030-01-02

F2 · price: This stock option was issued to the Reporting Person, who elected to take stock options in lieu of $35,000 in cash compensation for services as a director, pursuant to the Issuer's non-employee director compensation policy. The proceeds of any sales of shares of common stock issued to the Reporting Person upon exercise of this option will be transferred to Atlas Venture Advisors, LLC and as such, the Reporting Person disclaims his beneficial ownership of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, except to the extent of his pecuniary interest therein, if any.

F1 · derivative.exercise_date: This stock option shall vest in four quarterly installments on the last day of each calendar quarter during the calendar year subject to the Reporting Person's continued service as a non-employee director.

Read SEC document
June 18, 2019 Filed Jun 19, 2019 20:19 UTC Translate Bio, Inc. TBIO · Entity 135439 GrantStock Option (right to buy) · Derivative 18,900 $0.00 Strike: $10.20 $0.00
Disclosure

SEC source: 0001209191-19-038006 · doc4.xml · derivative · entry 1

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,900

Underlying: Common Stock · 18,900 shares

Expires 2029-06-17

F1 · security: This stock option will vest and become exercisable in full on the one year anniversary of the date of the award, or if earlier, the date of the Issuer's next annual meeting of stockholders following the date of the grant.

F2 · security: This option was granted to the Reporting Person, a director of the Issuer. The proceeds of any sale of shares of common stock issued to the Reporting Person upon exercise of this option will be transferred to Atlas Venture Advisors Inc. and as such, the Reporting Person disclaims ownership of such securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, except to the extent of his pecuniary interest therein, if any

F1 · derivative.exercise_date: This stock option will vest and become exercisable in full on the one year anniversary of the date of the award, or if earlier, the date of the Issuer's next annual meeting of stockholders following the date of the grant.

Read SEC document
June 05, 2019 Filed Jun 5, 2019 22:48 UTC Spero Therapeutics, Inc. SPRO · Entity 7014 GrantStock Option (right to buy) · Derivative 6,073 $0.00 Strike: $10.67 $0.00
Disclosure

SEC source: 0000899243-19-015667 · doc4.xml · derivative · entry 1

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,073

Underlying: Common Stock · 6,073 shares

Expires 2029-06-05

F1 · derivative.exercise_date: The shares underlying this option will vest and become exercisable in full on June 5, 2020 subject to the Reporting Person's continued service as a director through the vesting date.

F2 · ownership.direct: The reporting person is a member of Atlas Venture Associates IX, LLC ("AVA IX LLC") and is obligated to transfer the economic benefit, if any, received upon the sale of the shares issuable upon exercise of the equity grants to Atlas Venture Advisors, L.P. As such, the Reporting Person disclaims beneficial ownership to the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, except to the extent of his pecuniary interest therein, if any.

Read SEC document
May 21, 2019 Filed May 22, 2019 20:34 UTC Intellia Therapeutics, Inc. NTLA · Entity 4585 GrantStock Option (right to buy) · Derivative 19,000 $0.00 Strike: $15.78 $0.00
Disclosure

SEC source: 0001209191-19-032080 · doc4.xml · derivative · entry 1

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,000

Underlying: Common Stock · 19,000 shares

Expires 2029-05-20

F1 · derivative.exercise_date: This option was granted on May 21, 2019 with respect to 19,000 shares of Common Stock and vests in full on the earlier to occur of (a) the first anniversary of the grant date or (b) the date of the next annual meeting of stockholders following the date of grant.

F2 · ownership.direct: The reporting person is a member of Atlas Venture Associates IX, LLC ("AVA IX LLC") and is obligated to transfer the economic benefit, if any, received upon the sale of the shares issuable upon exercise of the equity grants to Atlas Venture Advisors, L.P. As such, the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, except to the extent of his pecuniary interest therein, if any.

Read SEC document
July 16, 2018 Filed Jul 18, 2018 12:40 UTC Intellia Therapeutics, Inc. NTLA · Entity 4585 SaleCommon Stock 1,402 $31.93 $44,762.36
Disclosure

SEC source: 0001104659-18-045660 · a4.xml · nonDerivative · entry 2

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · security: Represents shares sold by Atlas Venture Associates IX, L.P. ("AVA IX LP"), which is the general partner of Atlas Venture Fund IX, L.P. (the "Fund"). On July 16, 2018 AVA IX LP received 6,868 shares of the issuer's common stock from the Fund in accordance with the exemptions afforded by Rule 16a-9 and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Act"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.56 - $32.27, inclusive. The reporting person undertake to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (3) of this Form 4. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by AVA IX LP on March 23, 2018.

F1 · ownership.nature: Represents shares sold by Atlas Venture Associates IX, L.P. ("AVA IX LP"), which is the general partner of Atlas Venture Fund IX, L.P. (the "Fund"). On July 16, 2018 AVA IX LP received 6,868 shares of the issuer's common stock from the Fund in accordance with the exemptions afforded by Rule 16a-9 and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Act"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

Read SEC document
July 16, 2018 Filed Jul 18, 2018 12:40 UTC Intellia Therapeutics, Inc. NTLA · Entity 4585 SaleCommon Stock 5,284 $30.97 $163,634.91
Disclosure

SEC source: 0001104659-18-045660 · a4.xml · nonDerivative · entry 1

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,402

F1 · security: Represents shares sold by Atlas Venture Associates IX, L.P. ("AVA IX LP"), which is the general partner of Atlas Venture Fund IX, L.P. (the "Fund"). On July 16, 2018 AVA IX LP received 6,868 shares of the issuer's common stock from the Fund in accordance with the exemptions afforded by Rule 16a-9 and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Act"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.56 - $31.55, inclusive. The reporting person undertake to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (2) of this Form 4. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by AVA IX LP on March 23, 2018.

F1 · ownership.nature: Represents shares sold by Atlas Venture Associates IX, L.P. ("AVA IX LP"), which is the general partner of Atlas Venture Fund IX, L.P. (the "Fund"). On July 16, 2018 AVA IX LP received 6,868 shares of the issuer's common stock from the Fund in accordance with the exemptions afforded by Rule 16a-9 and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Act"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

Read SEC document
July 02, 2018 Filed Jul 3, 2018 22:37 UTC Translate Bio, Inc. TBIO · Entity 135439 ConversionSeries C Preferred Stock · Derivative 2,525,253 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-019319 · doc4.xml · derivative · entry 4

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Atlas Venture Fund VIII, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 454,550 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

F1 · derivative.exercise_date: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

F1 · derivative.expiration_date: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

F2 · ownership.nature: These shares are held directly by Atlas Venture Fund VIII, L.P. ("Atlas Venture Fund VIII"). The sole general partner of Atlas Venture Fund VIII is Atlas Venture Associates VIII, L.P. ("AVA VIII LP"). Atlas Venture Associates VIII, Inc. ("AVA VIII INC") is the sole general partner of AVA VIII LP. Dr. Formela is a director of AVA VIII INC and disclaims Section 16 beneficial ownership of the securities held by Atlas Venture Fund VIII, except to the extent of his pecuniary interest therein, if any. This report shall not be deemed to be an admission that Dr. Formela is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
July 02, 2018 Filed Jul 3, 2018 22:37 UTC Translate Bio, Inc. TBIO · Entity 135439 ConversionSeries B Preferred Stock · Derivative 5,838,230 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-019319 · doc4.xml · derivative · entry 3

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Atlas Venture Fund VIII, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 1,050,891 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

F1 · derivative.exercise_date: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

F1 · derivative.expiration_date: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

F2 · ownership.nature: These shares are held directly by Atlas Venture Fund VIII, L.P. ("Atlas Venture Fund VIII"). The sole general partner of Atlas Venture Fund VIII is Atlas Venture Associates VIII, L.P. ("AVA VIII LP"). Atlas Venture Associates VIII, Inc. ("AVA VIII INC") is the sole general partner of AVA VIII LP. Dr. Formela is a director of AVA VIII INC and disclaims Section 16 beneficial ownership of the securities held by Atlas Venture Fund VIII, except to the extent of his pecuniary interest therein, if any. This report shall not be deemed to be an admission that Dr. Formela is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
July 02, 2018 Filed Jul 3, 2018 22:37 UTC Translate Bio, Inc. TBIO · Entity 135439 ConversionSeries A Preferred Stock · Derivative 12,925,244 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-019319 · doc4.xml · derivative · entry 2

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Atlas Venture Fund VIII, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 2,326,567 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

F1 · derivative.exercise_date: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

F1 · derivative.expiration_date: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

F2 · ownership.nature: These shares are held directly by Atlas Venture Fund VIII, L.P. ("Atlas Venture Fund VIII"). The sole general partner of Atlas Venture Fund VIII is Atlas Venture Associates VIII, L.P. ("AVA VIII LP"). Atlas Venture Associates VIII, Inc. ("AVA VIII INC") is the sole general partner of AVA VIII LP. Dr. Formela is a director of AVA VIII INC and disclaims Section 16 beneficial ownership of the securities held by Atlas Venture Fund VIII, except to the extent of his pecuniary interest therein, if any. This report shall not be deemed to be an admission that Dr. Formela is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
July 02, 2018 Filed Jul 3, 2018 22:37 UTC Translate Bio, Inc. TBIO · Entity 135439 ConversionCommon Stock 3,832,010 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-019319 · doc4.xml · nonDerivative · entry 1

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Atlas Venture Fund VIII, L.P.

Disclosed balance after: 3,922,010

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: The Series A, Series B and Series C Preferred Stock converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

F2 · ownership.nature: These shares are held directly by Atlas Venture Fund VIII, L.P. ("Atlas Venture Fund VIII"). The sole general partner of Atlas Venture Fund VIII is Atlas Venture Associates VIII, L.P. ("AVA VIII LP"). Atlas Venture Associates VIII, Inc. ("AVA VIII INC") is the sole general partner of AVA VIII LP. Dr. Formela is a director of AVA VIII INC and disclaims Section 16 beneficial ownership of the securities held by Atlas Venture Fund VIII, except to the extent of his pecuniary interest therein, if any. This report shall not be deemed to be an admission that Dr. Formela is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
June 19, 2018 Filed Jun 20, 2018 16:03 UTC Intellia Therapeutics, Inc. NTLA · Entity 4585 SaleCommon Stock 1,400 $28.39 $39,746.00
Disclosure

SEC source: 0001104659-18-041218 · a4.xml · nonDerivative · entry 2

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · security: Represents shares sold by Atlas Venture Associates IX, L.P. ("AVA IX LP"), which is the general partner of Atlas Venture Fund IX, L.P. (the "Fund"). On June 19, 2018 AVA IX LP received 6,686 shares of the issuer's common stock from the Fund in accordance with the exemptions afforded by Rule 16a-9 and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Act"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.28- $28.47, inclusive. The reporting person undertake to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (3) of this Form 4. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by AVA IX LP on March 23, 2018.

F1 · ownership.nature: Represents shares sold by Atlas Venture Associates IX, L.P. ("AVA IX LP"), which is the general partner of Atlas Venture Fund IX, L.P. (the "Fund"). On June 19, 2018 AVA IX LP received 6,686 shares of the issuer's common stock from the Fund in accordance with the exemptions afforded by Rule 16a-9 and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Act"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

Read SEC document
June 19, 2018 Filed Jun 20, 2018 16:03 UTC Intellia Therapeutics, Inc. NTLA · Entity 4585 SaleCommon Stock 5,286 $27.84 $147,162.24
Disclosure

SEC source: 0001104659-18-041218 · a4.xml · nonDerivative · entry 1

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,400

F1 · security: Represents shares sold by Atlas Venture Associates IX, L.P. ("AVA IX LP"), which is the general partner of Atlas Venture Fund IX, L.P. (the "Fund"). On June 19, 2018 AVA IX LP received 6,686 shares of the issuer's common stock from the Fund in accordance with the exemptions afforded by Rule 16a-9 and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Act"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.28 - $28.27, inclusive. The reporting person undertake to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (2) of this Form 4. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by AVA IX LP on March 23, 2018.

F1 · ownership.nature: Represents shares sold by Atlas Venture Associates IX, L.P. ("AVA IX LP"), which is the general partner of Atlas Venture Fund IX, L.P. (the "Fund"). On June 19, 2018 AVA IX LP received 6,686 shares of the issuer's common stock from the Fund in accordance with the exemptions afforded by Rule 16a-9 and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Act"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

Read SEC document
June 05, 2018 Filed Jun 7, 2018 00:01 UTC Spero Therapeutics, Inc. SPRO · Entity 7014 GrantStock Option (right to buy) · Derivative 6,073 $0.00 Strike: $11.54 $0.00
Disclosure

SEC source: 0000899243-18-015329 · doc4.xml · derivative · entry 1

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,073

Underlying: Common Stock · 6,073 shares

Expires 2028-06-05

F1 · derivative.exercise_date: The shares underlying this option will vest and become exercisable in full on June 5, 2019, subject to the Reporting Person's continued service as a director through the vesting date.

F2 · ownership.direct: The reporting person is a member of Atlas Venture Associates IX, LLC ("AVA IX LLC") and is obligated to transfer the economic benefit, if any, received upon the sale of the shares issuable upon exercise of the equity grants to Atlas Venture Advisors, L.P. As such, the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, except to the extent of his pecuniary interest therein, if any.

Read SEC document
May 17, 2018 Filed May 21, 2018 16:59 UTC Intellia Therapeutics, Inc. NTLA · Entity 4585 GrantStock Option (right to buy) · Derivative 19,000 $0.00 Strike: $25.98 $0.00
Disclosure

SEC source: 0001209191-18-031694 · doc4.xml · derivative · entry 1

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,000

Underlying: Common Stock · 19,000 shares

Expires 2028-05-16

F1 · derivative.exercise_date: This option was granted on May 17, 2018 with respect to 19,000 shares of Common Stock and vests in full on the earlier to occur of (a) the first anniversary of the grant date or (b) the date of the next annual meeting of stockholders following the date of grant.

F2 · ownership.direct: The reporting person is a member of Atlas Venture Associates IX, LLC ("AVA IX LLC") and is obligated to transfer the economic benefit, if any, received upon the sale of the shares issuable upon exercise of the equity grants to Atlas Venture Advisors, L.P. As such, the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, except to the extent of his pecuniary interest therein, if any.

Read SEC document
May 16, 2018 Filed May 17, 2018 14:47 UTC Intellia Therapeutics, Inc. NTLA · Entity 4585 SaleCommon Stock 6,686 $25.04 $167,389.36
Disclosure

SEC source: 0001104659-18-033996 · a4.xml · nonDerivative · entry 1

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · security: Represents shares sold by Atlas Venture Associates IX, L.P. ("AVA IX LP"), which is the general partner of Atlas Venture Fund IX, L.P. (the "Fund"). On May 16, 2018 AVA IX LP received 6,686 shares of the issuer's common stock from the Fund in accordance with the exemptions afforded by Rule 16a-9 and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Act"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.69 - $25.39, inclusive. The reporting person undertake to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (2) of this Form 4. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by AVA IX LP on March 23, 2018

F1 · ownership.nature: Represents shares sold by Atlas Venture Associates IX, L.P. ("AVA IX LP"), which is the general partner of Atlas Venture Fund IX, L.P. (the "Fund"). On May 16, 2018 AVA IX LP received 6,686 shares of the issuer's common stock from the Fund in accordance with the exemptions afforded by Rule 16a-9 and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Act"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

Read SEC document
March 20, 2018 Filed Mar 22, 2018 17:43 UTC Intellia Therapeutics, Inc. NTLA · Entity 4585 SaleCommon Stock 36,628 $23.78 $871,160.35
Disclosure

SEC source: 0001104659-18-019521 · a4.xml · nonDerivative · entry 2

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · security: Represents shares sold by Atlas Venture Associates IX, L.P. ("AVA IX LP"), which is the general partner of Atlas Venture Fund IX, L.P. (the "Fund"). On March 16, 2018 AVA IX LP received 39,245 shares of the issuer's common stock from the Fund in accordance with the exemptions afforded by Rule 16a-9 and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Act"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.70 - $23.86, inclusive. The reporting person undertake to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (3) of this Form 4.

F1 · ownership.nature: Represents shares sold by Atlas Venture Associates IX, L.P. ("AVA IX LP"), which is the general partner of Atlas Venture Fund IX, L.P. (the "Fund"). On March 16, 2018 AVA IX LP received 39,245 shares of the issuer's common stock from the Fund in accordance with the exemptions afforded by Rule 16a-9 and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Act"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

Read SEC document
March 20, 2018 Filed Mar 22, 2018 17:43 UTC Intellia Therapeutics, Inc. NTLA · Entity 4585 SaleCommon Stock 2,617 $25.06 $65,582.28
Disclosure

SEC source: 0001104659-18-019521 · a4.xml · nonDerivative · entry 1

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 36,628

F1 · security: Represents shares sold by Atlas Venture Associates IX, L.P. ("AVA IX LP"), which is the general partner of Atlas Venture Fund IX, L.P. (the "Fund"). On March 16, 2018 AVA IX LP received 39,245 shares of the issuer's common stock from the Fund in accordance with the exemptions afforded by Rule 16a-9 and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Act"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.00 - $25.19, inclusive. The reporting person undertake to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (2) of this Form 4.

F1 · ownership.nature: Represents shares sold by Atlas Venture Associates IX, L.P. ("AVA IX LP"), which is the general partner of Atlas Venture Fund IX, L.P. (the "Fund"). On March 16, 2018 AVA IX LP received 39,245 shares of the issuer's common stock from the Fund in accordance with the exemptions afforded by Rule 16a-9 and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Act"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

Read SEC document
November 06, 2017 Filed Nov 7, 2017 21:08 UTC Spero Therapeutics, Inc. SPRO · Entity 7014 ConversionSeries C Preferred Stock · Derivative 3,662,178 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-025510 · doc4.xml · derivative · entry 11

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 602,589 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). Each series of preferred stock was automatically converted upon the closing of the Issuer's initial public offering without payment of further consideration and had no expiration date.

F2 · derivative.exercise_date: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). Each series of preferred stock was automatically converted upon the closing of the Issuer's initial public offering without payment of further consideration and had no expiration date.

F2 · derivative.expiration_date: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). Each series of preferred stock was automatically converted upon the closing of the Issuer's initial public offering without payment of further consideration and had no expiration date.

F4 · ownership.nature: Shares held by Atlas Venture Fund X, L.P. ("Atlas Venture Fund X"). The general partner of Atlas Venture Fund X is Atlas Venture Associates X, L.P. ("AVA X LP"). Atlas Venture Associates X, LLC ("AVA X LLC") is the general partner of AVA X LP. Dr. Formela is a member of AVA X LLC and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

Read SEC document
November 06, 2017 Filed Nov 7, 2017 21:08 UTC Spero Therapeutics, Inc. SPRO · Entity 7014 ConversionSeries C Preferred Stock · Derivative 3,119,633 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-025510 · doc4.xml · derivative · entry 10

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 513,318 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). Each series of preferred stock was automatically converted upon the closing of the Issuer's initial public offering without payment of further consideration and had no expiration date.

F2 · derivative.exercise_date: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). Each series of preferred stock was automatically converted upon the closing of the Issuer's initial public offering without payment of further consideration and had no expiration date.

F2 · derivative.expiration_date: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). Each series of preferred stock was automatically converted upon the closing of the Issuer's initial public offering without payment of further consideration and had no expiration date.

F3 · ownership.nature: Shares held by Atlas Venture Fund IX, L.P. ("Atlas Venture Fund IX"). The general partner of Atlas Venture Fund IX is Atlas Venture Associates IX, L.P. ("AVA IX LP"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

Read SEC document
November 06, 2017 Filed Nov 7, 2017 21:08 UTC Spero Therapeutics, Inc. SPRO · Entity 7014 ConversionSeries B Preferred Stock · Derivative 1,250,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-025510 · doc4.xml · derivative · entry 9

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 328,992 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). Each series of preferred stock was automatically converted upon the closing of the Issuer's initial public offering without payment of further consideration and had no expiration date.

F2 · derivative.exercise_date: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). Each series of preferred stock was automatically converted upon the closing of the Issuer's initial public offering without payment of further consideration and had no expiration date.

F2 · derivative.expiration_date: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). Each series of preferred stock was automatically converted upon the closing of the Issuer's initial public offering without payment of further consideration and had no expiration date.

F3 · ownership.nature: Shares held by Atlas Venture Fund IX, L.P. ("Atlas Venture Fund IX"). The general partner of Atlas Venture Fund IX is Atlas Venture Associates IX, L.P. ("AVA IX LP"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

Read SEC document
November 06, 2017 Filed Nov 7, 2017 21:08 UTC Spero Therapeutics, Inc. SPRO · Entity 7014 ConversionSeries A Preferred Stock · Derivative 982,906 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-025510 · doc4.xml · derivative · entry 8

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 246,272 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). Each series of preferred stock was automatically converted upon the closing of the Issuer's initial public offering without payment of further consideration and had no expiration date.

F2 · derivative.exercise_date: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). Each series of preferred stock was automatically converted upon the closing of the Issuer's initial public offering without payment of further consideration and had no expiration date.

F2 · derivative.expiration_date: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). Each series of preferred stock was automatically converted upon the closing of the Issuer's initial public offering without payment of further consideration and had no expiration date.

F3 · ownership.nature: Shares held by Atlas Venture Fund IX, L.P. ("Atlas Venture Fund IX"). The general partner of Atlas Venture Fund IX is Atlas Venture Associates IX, L.P. ("AVA IX LP"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

Read SEC document
November 06, 2017 Filed Nov 7, 2017 21:08 UTC Spero Therapeutics, Inc. SPRO · Entity 7014 ConversionJunior Preferred Stock · Derivative 1,492,645 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-025510 · doc4.xml · derivative · entry 7

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 245,605 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). Each series of preferred stock was automatically converted upon the closing of the Issuer's initial public offering without payment of further consideration and had no expiration date.

F2 · derivative.exercise_date: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). Each series of preferred stock was automatically converted upon the closing of the Issuer's initial public offering without payment of further consideration and had no expiration date.

F2 · derivative.expiration_date: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). Each series of preferred stock was automatically converted upon the closing of the Issuer's initial public offering without payment of further consideration and had no expiration date.

F3 · ownership.nature: Shares held by Atlas Venture Fund IX, L.P. ("Atlas Venture Fund IX"). The general partner of Atlas Venture Fund IX is Atlas Venture Associates IX, L.P. ("AVA IX LP"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

Read SEC document
November 06, 2017 Filed Nov 7, 2017 21:08 UTC Spero Therapeutics, Inc. SPRO · Entity 7014 PurchaseCommon Stock 428,571 $14.00 $5,999,994.00
Disclosure

SEC source: 0000899243-17-025510 · doc4.xml · nonDerivative · entry 6

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,408,128

F1 · shares: Reflects shares of the Issuer's common stock that were purchased in connection with the Issuer's initial public offering.

F4 · ownership.nature: Shares held by Atlas Venture Fund X, L.P. ("Atlas Venture Fund X"). The general partner of Atlas Venture Fund X is Atlas Venture Associates X, L.P. ("AVA X LP"). Atlas Venture Associates X, LLC ("AVA X LLC") is the general partner of AVA X LP. Dr. Formela is a member of AVA X LLC and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

Read SEC document
November 06, 2017 Filed Nov 7, 2017 21:08 UTC Spero Therapeutics, Inc. SPRO · Entity 7014 ConversionCommon Stock 602,589 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-025510 · doc4.xml · nonDerivative · entry 5

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,979,557

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · price: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). Each series of preferred stock was automatically converted upon the closing of the Issuer's initial public offering without payment of further consideration and had no expiration date.

F4 · ownership.nature: Shares held by Atlas Venture Fund X, L.P. ("Atlas Venture Fund X"). The general partner of Atlas Venture Fund X is Atlas Venture Associates X, L.P. ("AVA X LP"). Atlas Venture Associates X, LLC ("AVA X LLC") is the general partner of AVA X LP. Dr. Formela is a member of AVA X LLC and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

Read SEC document
November 06, 2017 Filed Nov 7, 2017 21:08 UTC Spero Therapeutics, Inc. SPRO · Entity 7014 ConversionCommon Stock 513,318 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-025510 · doc4.xml · nonDerivative · entry 4

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,376,968

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · price: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). Each series of preferred stock was automatically converted upon the closing of the Issuer's initial public offering without payment of further consideration and had no expiration date.

F3 · ownership.nature: Shares held by Atlas Venture Fund IX, L.P. ("Atlas Venture Fund IX"). The general partner of Atlas Venture Fund IX is Atlas Venture Associates IX, L.P. ("AVA IX LP"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

Read SEC document
November 06, 2017 Filed Nov 7, 2017 21:08 UTC Spero Therapeutics, Inc. SPRO · Entity 7014 ConversionCommon Stock 328,992 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-025510 · doc4.xml · nonDerivative · entry 3

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 863,650

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · price: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). Each series of preferred stock was automatically converted upon the closing of the Issuer's initial public offering without payment of further consideration and had no expiration date.

F3 · ownership.nature: Shares held by Atlas Venture Fund IX, L.P. ("Atlas Venture Fund IX"). The general partner of Atlas Venture Fund IX is Atlas Venture Associates IX, L.P. ("AVA IX LP"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

Read SEC document
November 06, 2017 Filed Nov 7, 2017 21:08 UTC Spero Therapeutics, Inc. SPRO · Entity 7014 ConversionCommon Stock 246,272 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-025510 · doc4.xml · nonDerivative · entry 2

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 534,658

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · price: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). Each series of preferred stock was automatically converted upon the closing of the Issuer's initial public offering without payment of further consideration and had no expiration date.

F3 · ownership.nature: Shares held by Atlas Venture Fund IX, L.P. ("Atlas Venture Fund IX"). The general partner of Atlas Venture Fund IX is Atlas Venture Associates IX, L.P. ("AVA IX LP"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

Read SEC document
November 06, 2017 Filed Nov 7, 2017 21:08 UTC Spero Therapeutics, Inc. SPRO · Entity 7014 ConversionCommon Stock 245,605 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-025510 · doc4.xml · nonDerivative · entry 1

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 288,386

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · price: Amount of underlying securities reflects the application of the applicable conversion ratio as set forth in the Issuer's Amended and Restated Certificate of Incorporation in effect immediately prior to the closing of the initial public offering (as adjusted by the 1-for-6.0774 reverse stock split of the Issuer's common stock effected on October 20, 2017). Each series of preferred stock was automatically converted upon the closing of the Issuer's initial public offering without payment of further consideration and had no expiration date.

F3 · ownership.nature: Shares held by Atlas Venture Fund IX, L.P. ("Atlas Venture Fund IX"). The general partner of Atlas Venture Fund IX is Atlas Venture Associates IX, L.P. ("AVA IX LP"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

Read SEC document
July 11, 2017 Filed Jul 11, 2017 21:40 UTC Intellia Therapeutics, Inc. NTLA · Entity 4585 SaleCommon Stock 80,000 $16.07 $1,285,560.00
Disclosure

SEC source: 0001104659-17-044530 · a4.xml · nonDerivative · entry 3

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,579,788

F1 · security: Represents shares sold by Atlas Venture Fund IX, L.P. ("Atlas IX"). Atlas Venture Associates IX, L.P. ("AVA IX LP") is the general partner of Atlas IX. Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of the securities held by Atlas IX, except to the extent of his pecuniary interest therein, if any.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.00 - $16.325, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (4) of this Form 4.

F5 · ownership.nature: Represents shares held directly by Atlas IX. The general partner of Atlas IX is AVA IX LP. AVA IX LLC is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of the securities held by Atlas IX, except to the extent of his pecuniary interest therein, if any.

Read SEC document
July 10, 2017 Filed Jul 11, 2017 21:40 UTC Intellia Therapeutics, Inc. NTLA · Entity 4585 SaleCommon Stock 40,000 $16.17 $646,888.00
Disclosure

SEC source: 0001104659-17-044530 · a4.xml · nonDerivative · entry 2

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,659,788

F1 · security: Represents shares sold by Atlas Venture Fund IX, L.P. ("Atlas IX"). Atlas Venture Associates IX, L.P. ("AVA IX LP") is the general partner of Atlas IX. Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of the securities held by Atlas IX, except to the extent of his pecuniary interest therein, if any.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.00 - $16.70, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (3) of this Form 4.

F5 · ownership.nature: Represents shares held directly by Atlas IX. The general partner of Atlas IX is AVA IX LP. AVA IX LLC is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of the securities held by Atlas IX, except to the extent of his pecuniary interest therein, if any.

Read SEC document
July 07, 2017 Filed Jul 11, 2017 21:40 UTC Intellia Therapeutics, Inc. NTLA · Entity 4585 SaleCommon Stock 30,000 $16.77 $502,992.00
Disclosure

SEC source: 0001104659-17-044530 · a4.xml · nonDerivative · entry 1

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,699,788

F1 · security: Represents shares sold by Atlas Venture Fund IX, L.P. ("Atlas IX"). Atlas Venture Associates IX, L.P. ("AVA IX LP") is the general partner of Atlas IX. Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of the securities held by Atlas IX, except to the extent of his pecuniary interest therein, if any.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.50 - $17.25, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (2) of this Form 4.

F5 · ownership.nature: Represents shares held directly by Atlas IX. The general partner of Atlas IX is AVA IX LP. AVA IX LLC is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of the securities held by Atlas IX, except to the extent of his pecuniary interest therein, if any.

Read SEC document
May 18, 2017 Filed May 19, 2017 21:12 UTC Intellia Therapeutics, Inc. NTLA · Entity 4585 GrantStock Option (right to buy) · Derivative 19,000 $0.00 Strike: $14.35 $0.00
Disclosure

SEC source: 0001209191-17-033985 · doc4.xml · derivative · entry 1

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,000

Underlying: Common Stock · 19,000 shares

Expires 2027-05-17

F1 · derivative.exercise_date: This option was granted on May 18, 2017 with respect to 19,000 shares of Common Stock and vests in full on the earlier to occur of (a) the first anniversary of the grant date or (b) the date of the next annual meeting of stockholders following the date of grant.

F2 · ownership.direct: The reporting person is a member of Atlas Venture Associates IX, LLC ("AVA IX LLC") and is obligated to transfer the economic benefit, if any, received upon the sale of the shares issuable upon exercise of the equity grants to Atlas Venture Advisors, L.P. As such, the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, except to the extent of his pecuniary interest therein, if any.

Read SEC document
March 10, 2017 Filed Mar 13, 2017 14:34 UTC Intellia Therapeutics, Inc. NTLA · Entity 4585 SaleCommon Stock 5,504 $14.06 $77,410.46
Disclosure

SEC source: 0001209191-17-020050 · doc4.xml · nonDerivative · entry 2

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · security: Represents shares sold by Atlas Venture Associates IX, L.P. ("AVA IX LP"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.86 - $14.33, inclusive. The reporting person undertake to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (3) of this Form 4.

F1 · ownership.nature: Represents shares sold by Atlas Venture Associates IX, L.P. ("AVA IX LP"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

Read SEC document
March 09, 2017 Filed Mar 13, 2017 14:34 UTC Intellia Therapeutics, Inc. NTLA · Entity 4585 SaleCommon Stock 15,628 $13.85 $216,432.17
Disclosure

SEC source: 0001209191-17-020050 · doc4.xml · nonDerivative · entry 1

FORMELA JEAN FRANCOIS · CIK 0001030575 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 5,504

F1 · security: Represents shares sold by Atlas Venture Associates IX, L.P. ("AVA IX LP"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.75 - $14.02, inclusive. The reporting person undertake to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (2) of this Form 4.

F1 · ownership.nature: Represents shares sold by Atlas Venture Associates IX, L.P. ("AVA IX LP"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Formela is a member of AVA IX LLC and disclaims Section 16 beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.